Nicholas Bennett

Background

About Nicholas Bennett

Currently a CPA, has focused on providing audit and advisory services to financial institutions including 1) Introducing and clearing broker-dealers, registered investment advisors, asset management 2) publicly-traded bank holding companies and financial holding companies;(3) non-publicly-traded banks, thrifts, bank holding companies, and mortgage companies; Member of the Firms Broker-Dealer Task Force (includes firm methodology, thought leadership, national training, specialized team buildout, etc.). Lead on broker-dealer business development and strategy, firm communications, and implementation of new attestation standards. Firm representative to FMS SIFMA Regional Planning Committee NYSSCPA Stock Brokerage Committee Member Other areas of expertise include: CECL Implementation and Revenue Recognition Standards (ASC 606) Buy/Sell-Side Due Diligence (M&A) Pro-forma Compilations Implementation and facilitation of internal controls audits under Sarbanes-Oxley Section 404 Audits of privately owned financial institutions subject to FDICIA reporting requirements Preparation and review of various Securities and Exchange Commission filings, including registration statements, quarterly reports, and annual reports Internal audit assistance Private and public offerings Passed CFA Level 1